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Stock Market & Financial Investment News

News Breaks
July 29, 2014
06:11 EDTUBSUBS says 'responding to inquiries' on dark pools
UBS says it is responding to inquiries concerning the operation of UBSís alternative trading system and its securities order routing and execution practices from various authorities, including the SEC, the New York Attorney General and Finra, who reportedly are pursuing similar investigations industry-wide. These inquiries include an SEC investigation that began in early 2012 concerning features of UBSís ATS, including certain order types and disclosure practices that were discontinued two years ago. UBS is co-operating in these matters. In addition, UBS is among dozens of defendants, including broker dealers, trading exchanges, high-frequency trading firms, and dark pool sponsors, named in putative class actions pending in New York federal court, which have been filed on behalf of purchasers and sellers of equity securities. The lawsuits allege principally that the defendantsí equities order handling practices favored high-frequency trading firms at the expense of other market participants, in violation of the federal securities laws.
News For UBS From The Last 14 Days
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December 16, 2014
17:11 EDTUBSGIC Private reports 7.07% passive stake in UBS
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December 11, 2014
13:40 EDTUBSEuro zone banks accepted $160B in low interest loans, NY Times says
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